When securities regulators schedule an audit of your firm, it is an important and time-consuming exercise for management and staff. Our team has many years of experience in working effectively with regulators to assist your firm in the audit process, and to remediate any audit deficiencies.
Regulatory Audit Support
Regulatory Audit Support
Our Audit Support services include:
- Review of previous audit findings and remediation of deficiencies
- Onsite help coordinating the audit with regulators
- Reviewing and drafting audit response letters
- Remediating audit deficiencies and preparing written responses